Kristie L. Ford

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CRD#: 7748328

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kristie Lee Ford, who also goes by Kristie Ford, was a registered financial professional .

Kristie is a previously registered financial professional and started their career in finance in 2023. Kristie had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kristie Ford

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

KRISTIE'S GLOBAL SEERVICES POSITION: Owner NATURE: Petsitting, Homecare services, construction services, contract basis INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/05/2022 ADDRESS: 161 W Wisconsin Ave, #445, Milwaukee WI 53203, United States DESCRIPTION: On a contract basis assist in pet and home care MILWAUKEE WORLD FESTIVAL, INC. POSITION: VIP Lead Bartender NATURE: Accommodation, Hospitality and Food Service INVESTMENT RELATED: No NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 6 START DATE: 06/01/2024 ADDRESS: 200 N. Harbor Dr, Milwaukee WI 53202, United States DESCRIPTION: Lead the bartending VIP suites, high net worth large donor clients.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 21, 2024 - November 6, 2024

FALCON WEALTH PLANNING, INC.

RIA

CRD#: 174092

ONTARIO, CA

Past

October 19, 2023 - July 19, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WAUWATOSA, WI

Past

August 10, 2023 - July 19, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

WAUWATOSA, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/18/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/10/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/20/2023

Securities Industry Essentials Examination

Current Firm

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 Terminated)

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Contact information

Main Address

3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764

Mailing Address

Phone number

(855) 963-2526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,575
AUM (Assets Under Management)	$ 1,159,538,045

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kristie L. Ford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FALCON WEALTH PLANNING, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FALCON WEALTH PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2023

Series 7TO

Date: 8/10/2023

SIE

Date: 5/20/2023

Current Firm

FALCON WEALTH PLANNING, INC.

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FALCON WEALTH PLANNING, INC.

TRUST BUT VERIFY

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